DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
At current firm
3 y
since Aug 4, 2023
In the industry
23 y
since Sep 18, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Waterloo Capital independent RIA currentsince Aug 4, 2023 · Austin, Tx
- Ironclad Strategies LLC unclassifiedOct 2, 2018 to Dec 18, 2023 · Austin, Tx
- Kestra Advisory Services, LLC BD affiliatedJan 3, 2018 to Oct 1, 2018 · Austin, Tx
- Sii Investments, Inc. formerJan 5, 2012 to Jan 3, 2018 · West Lake Hills, Tx
- Nfp Advisor Services, LLC formerApr 21, 2011 to Jan 30, 2012 · Austin, Tx
- Livitz Trading Group, LLC unclassifiedApr 25, 2006 to Dec 31, 2006 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Ironclad Strategies LLC to Waterloo Capitalleft Dec 18, 2023, registered Aug 4, 2023 (-136 days) · Other · moved with a team
- Kestra Advisory Services, LLC to Ironclad Strategies LLCleft Oct 1, 2018, registered Oct 2, 2018 (1 days) · Other
- Sii Investments, Inc. to Kestra Advisory Services, LLCleft Jan 3, 2018, registered Jan 3, 2018 (0 days) · Other · moved with a team
- Nfp Advisor Services, LLC to Sii Investments, Inc.left Jan 30, 2012, registered Jan 5, 2012 (-25 days) · Other
- Livitz Trading Group, LLC to Nfp Advisor Services, LLCleft Dec 31, 2006, registered Apr 21, 2011 (1572 days) · Other
Signals
- Steven Harris Livitz left Ironclad Strategies Llc for Waterloo Capital (registered 2023-08-04)Dec 18, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address